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Article 1 - General Provisions
§ 10-5-1. Short Title - This chapter shall be known as and may be cited...
§ 10-5-2. Definitions - As used in this chapter, the term: History. Code 1981,...
§ 10-5-3. Citations to United States Code - Any citation in this chapter to a section of the...
§ 10-5-4. Reference to Agency or Department of United States - A reference in this chapter to an agency or department...
§ 10-5-5. Electronic Records and Signatures - This chapter modifies, limits, and supersedes the federal Electronic Signatures...
Article 2 - Exemptions
§ 10-5-10. Exemptions From Registration of Securities - The following securities are exempt from the requirements of Article...
§ 10-5-11. Exempt Transactions - The following transactions are exempt from the requirements of Article...
§ 10-5-12. Exemption of Securities, Transactions, or Offers by Adoption of Rule or Issuance of Order - A rule adopted or order issued under this chapter may...
§ 10-5-13. Denial, Suspension, or Revocation of Exemption - History. Code 1981, § 10-5-13 , enacted by Ga. L....
Article 3 - Registration of Securities
§ 10-5-20. Restrictions on Sales of Securities - It is unlawful for a person to offer or sell...
§ 10-5-21. Filing of Records - History. Code 1981, § 10-5-21 , enacted by Ga. L....
§ 10-5-22. Registration by Coordination; Additional Records; Effective Date of Federal Registration Statement - History. Code 1981, § 10-5-22 , enacted by Ga. L....
§ 10-5-23. Registration by Qualification; Additional Information and Records Required; Effective Date - History. Code 1981, § 10-5-23 , enacted by Ga. L....
§ 10-5-24. Who May File Registration Statement; Conditions of Registration; Amendment - History. Code 1981, § 10-5-24 , enacted by Ga. L....
§ 10-5-25. Denying, Suspending, or Revoking the Effectiveness of Registration Statement; Publication of Conduct Constituting Violations; Notice and Hearing - History. Code 1981, § 10-5-25 , enacted by Ga. L....
§ 10-5-26. Waiver or Modification of Requirements by Commissioner - The Commissioner may waive or modify, in whole or in...
Article 4 - Registration of Broker-Dealers, Agents, and Investment Advisors
§ 10-5-30. Registration Requirements for Broker-Dealers; Exemptions - History. Code 1981, § 10-5-30 , enacted by Ga. L....
§ 10-5-31. Registration Requirements for Agents; Exemptions - History. Code 1981, § 10-5-31 , enacted by Ga. L....
§ 10-5-32. Registration Requirements for Investment Advisors; Exemptions - History. Code 1981, § 10-5-32 , enacted by Ga. L....
§ 10-5-33. Registration Requirement for Investment Adviser Representatives; Exemptions - History. Code 1981, § 10-5-33 , enacted by Ga. L....
§ 10-5-34. Registration Requirements for Federal Covered Investment Advisers - History. Code 1981, § 10-5-34 , enacted by Ga. L....
§ 10-5-35. Application; Consent to Service of Process - History. Code 1981, § 10-5-35 , enacted by Ga. L....
§ 10-5-36. Change of Name; Change of Control - History. Code 1981, § 10-5-36 , enacted by Ga. L....
§ 10-5-37. Notice of Termination - History. Code 1981, § 10-5-37 , enacted by Ga. L....
§ 10-5-38. Withdrawal of Registration - Withdrawal of registration by a broker-dealer, agent, investment adviser, or...
§ 10-5-39. Fees - History. Code 1981, § 10-5-39 , enacted by Ga. L....
§ 10-5-40. Financial Requirements - History. Code 1981, § 10-5-40 , enacted by Ga. L....
§ 10-5-41. Denial of or Placement of Conditions or Limitations on Registration - History. Code 1981, § 10-5-41 , enacted by Ga. L....
Article 5 - Violations, Penalties, and Civil Liability
§ 10-5-50. Unlawful Practices With Offer, Sale, or Purchase of Security - It is unlawful for a person, in connection with the...
§ 10-5-51. Fraud or Deceit Unlawful; Adoption of Rule - History. Code 1981, § 10-5-51 , enacted by Ga. L....
§ 10-5-52. Civil and Criminal Proceedings - History. Code 1981, § 10-5-52 , enacted by Ga. L....
§ 10-5-53. Order or Rule May Require Filing of Prospectus and Additional Information - History. Code 1981, § 10-5-53 , enacted by Ga. L....
§ 10-5-54. Unlawful to Make False or Misleading Statements - It is unlawful for a person to make or cause...
§ 10-5-55. Filing Under This Chapter Does Not Constitute a Finding by Commissioner That Records Are Accurate or Upon the Merits or Qualifications of Any Person - The filing of an application for registration, a registration statement,...
§ 10-5-56. Liability for Defamation Related to Information Contained in Record - A broker-dealer, agent, investment adviser, federal covered investment adviser, or...
§ 10-5-57. Penalties for Violations - History. Code 1981, § 10-5-57 , enacted by Ga. L....
§ 10-5-58. Enforcement of Civil Liability; Damages - History. Code 1981, § 10-5-58 , enacted by Ga. L....
§ 10-5-59. Exemptions to Liability - A purchaser, seller, or recipient of investment advice may not...
Article 6 - Administration
§ 10-5-70. Administration of Chapter; Commissioner of Securities; Authority - History. Code 1981, § 10-5-70 , enacted by Ga. L....
§ 10-5-71. Powers of Commissioner - History. Code 1981, § 10-5-71 , enacted by Ga. L....
§ 10-5-72. Violations; Remedies and Penalties - History. Code 1981, § 10-5-72 , enacted by Ga. L....
§ 10-5-73. Cease and Desist Orders; Denying, Revoking, or Conditioning Exemptions for Broker-Dealers - History. Code 1981, § 10-5-73 , enacted by Ga. L....
§ 10-5-74. Issuance of Forms and Orders; Adoption and Amendment of Rules - History. Code 1981, § 10-5-74 , enacted by Ga. L....
§ 10-5-75. Register of Applications for Registration of Securities; Registration Statements; Notice Filings; Notices of Claims; Furnishing Certain Information to the Public - History. Code 1981, § 10-5-75 , enacted by Ga. L....
§ 10-5-76. Public Records; Exceptions - History. Code 1981, § 10-5-76 , enacted by Ga. L....
§ 10-5-77. Intergovernmental Cooperation, Coordination, and Consultation; Sharing of Records and Information - History. Code 1981, § 10-5-77 , enacted by Ga. L....
§ 10-5-78. Rules and Orders Issued Under This Chapter Subject to Judicial Review - History. Code 1981, § 10-5-78 , enacted by Ga. L....
§ 10-5-79. Applicability of Chapter to Certain Offers to Purchase or Sell - History. Code 1981, § 10-5-79 , enacted by Ga. L....
§ 10-5-80. Consent to Service of Process - History. Code 1981, § 10-5-80 , enacted by Ga. L....
Article 7 - Applicability of Predecessor Provisions
§ 10-5-90. Predecessor Act Governs Actions Pending and Registrations, Orders, and Rules in Effect on July 1, 2009 - History. Code 1981, § 10-5-90 , enacted by Ga. L....